PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 12:10 AM ET

Sponsor Check › Person

Mark Adams

Related person on Form D filings · address state as listed: TX · listed Apr 16, 2009 → Dec 13, 2022

9issuers
27Form D filings
2009–2022years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

Search queued. Results are added automatically; check back later or follow this page to be notified.

3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

4 of 21 offerings report sales commissions totalling $930,600; 1 reports finder's fees totalling $25,000; 4 report proceeds to related persons totalling $667,500. (includes amounts the issuer reported as estimates)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Dec 13, 2022 D
File 021-467216
$0$0$0IB Capital LLC no CRD number reported
EDGAR ↗Dec 7, 2020 D
File 021-382490
$775,000$0$0Palladium Capital Group, LLC BrokerCheck CRD 129400 ↗
Spartan Capital Securities, LLC BrokerCheck CRD 146251 ↗
EDGAR ↗Aug 19, 2020 D
File 021-373579
$0$0$0None listed on this filing
EDGAR ↗Jul 21, 2020 D
File 021-371431
$0$0$0None listed on this filing
EDGAR ↗Jan 3, 2020 D
File 021-357152
$80,000 (est.)$25,000 (est.)$0
Proceeds of the offering will be used for working capital and general corporate purposes in the ordinary course of business.
Palladium Capital Advisors, LLC BrokerCheck CRD 129400 ↗
EDGAR ↗Apr 22, 2019 D
File 021-337820
$0$0$0None listed on this filing
EDGAR ↗Oct 24, 2018 D
File 021-324258
$0$0$0None listed on this filing
EDGAR ↗Aug 10, 2018 D
File 021-319002
$0$0$0None listed on this filing
EDGAR ↗Feb 2, 2017 D
File 021-279857
$0$0$0None listed on this filing
EDGAR ↗Jan 14, 2015 D
File 021-232205
$0$0$100,000 (est.)
Use of funds for raise proceeds include general working capital, which may include periodic payments of salaries to executive officers.
None listed on this filing
EDGAR ↗Jun 19, 2012 D
File 021-179929
$600 (est.)$0$0 (est.)Gregory W. Pletz BrokerCheck CRD 2803859 ↗
via Welborn Capital LLC (CRD 152234 ↗)
EDGAR ↗Mar 15, 2012 D
File 021-175033
$0$0$400,000
Repayment of short term loans made to Company
None listed on this filing
EDGAR ↗Dec 15, 2011 D/A
File 021-153857
$75,000 (est.)$0$0Stuart T. Valentine BrokerCheck CRD 1646981 ↗
via Financial West Group (CRD 16668 ↗)

Wenkai Tsai BrokerCheck CRD 2704008 ↗
via Bridge Capital Associates, Inc. (CRD 143475 ↗)

Gregory W. Pletz BrokerCheck CRD 2803859 ↗
via Welborn Capital LLC (CRD 152234 ↗)
EDGAR ↗Dec 15, 2011 D
File 021-170141
$0$0$0None listed on this filing
EDGAR ↗Aug 15, 2011 D
File 021-164487
$0$0$0None listed on this filing
EDGAR ↗Jan 18, 2011 D
File 021-153880
$0$0$0None listed on this filing
EDGAR ↗Jan 7, 2011 D
File 021-153191
$0$0$0None listed on this filing
EDGAR ↗Jul 7, 2010 D
File 021-144563
$0$0$0None listed on this filing
EDGAR ↗Mar 5, 2010 D
File 021-125715
$0$0$0None listed on this filing
EDGAR ↗Dec 31, 2009 D/A
File 021-129562
$0$0$67,500 (est.)None listed on this filing
EDGAR ↗May 15, 2009 D
File 021-131275
$0$0$100,000 (est.)
Estimate of executive salaries and advisory fees payable from offering proceeds based upon pro forma financial projections - actual amount will depend upon actual performance of business
None listed on this filing

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗Direct Biologics, LLCExecutive OfficerDec 13, 2022DIndefinite
similar: $2,000,000–$19,999,994
$11,569,702116
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Fabric.AI, Inc.DirectorDec 7, 2020D$18,131,116
similar: $500,000–$7,000,000
$07
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗Fabric.AI, Inc.DirectorAug 19, 2020D$744,625
similar: $500,000–$7,000,000
$01
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗Fabric.AI, Inc.DirectorJul 21, 2020D$1,179,996
similar: $500,000–$7,000,000
$02
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗Ayro, Inc.Director
Director
Jan 3, 2020DIndefinite
similar: $1,000,000–$7,247,539
$1,000,0005
similar: 2–13
No minimum reported
similar: $10,000–$60,000
EDGAR ↗ASTROTECH CorpDirectorApr 22, 2019D$1,999,994
similar: $1,100,015–$10,001,163
$1,999,9942
similar: 2–14
$999,996
similar: $5,000–$50,000
EDGAR ↗ASTROTECH CorpDirectorOct 24, 2018D$2,999,998
similar: $1,100,015–$10,001,163
$2,999,9982
similar: 2–14
$962,666
similar: $5,000–$50,000
EDGAR ↗Austin EV, Inc.DirectorAug 10, 2018D$3,272,500
similar: $1,100,015–$10,001,163
$3,272,50053
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗XPEL Technologies Corp.DirectorFeb 2, 2017D$3,000,000
similar: $500,000–$7,000,000
$00
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗Sozo Global, Inc.Executive Officer, Director, PromoterJan 14, 2015D$6,000,000
similar: $650,000–$6,000,000
$810,00016
similar: 1–11
$50,000
similar: $9,999–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJun 19, 2012D$10,000,000
similar: $1,100,015–$10,001,163
$601,70017
similar: 2–14
$5,000
similar: $5,000–$50,000
EDGAR ↗Sozo Global, Inc.Executive Officer, Director, PromoterMar 15, 2012D$5,000,000
similar: $650,000–$6,000,000
$300,0003
similar: 1–11
$50,000
similar: $9,999–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorDec 15, 2011D$5,000,000
similar: $1,100,015–$10,001,163
$1,090,0005
similar: 2–14
$50,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorDec 15, 2011D/A$10,000,000
similar: $1,100,015–$10,001,163
$10,000,000115
similar: 2–14
$50,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorAug 15, 2011D$1,800,000
similar: $1,100,015–$10,001,163
$1,800,0005
similar: 2–14
$225,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJan 18, 2011D$10,000,000
similar: $1,100,015–$10,001,163
$2,157,67339
similar: 2–14
$50,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJan 18, 2011D$10,000,000
similar: $1,100,015–$10,001,163
$2,157,67339
similar: 2–14
$50,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJan 7, 2011D$2,800,000
similar: $1,100,015–$10,001,163
$2,800,0001
similar: 2–14
$2,800,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJul 7, 2010D$6,000,000
similar: $1,100,015–$10,001,163
$4,932,08673
similar: 2–14
$50,000
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorMar 5, 2010D$2,000,000
similar: $1,100,015–$10,001,163
$2,000,00020
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorFeb 25, 2010D$2,000,000
similar: $1,100,015–$10,001,163
$2,000,00030
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗ETMG LLCExecutive Officer, Director
(Manager of LLC)
Dec 31, 2009D/A$1,025,000
similar: not enough data
$1,025,00012
similar: not enough data
$50,000
similar: not enough data
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorDec 3, 2009D$2,100,000
similar: $1,100,015–$10,001,163
$262,5057
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorAug 12, 2009D/A$2,000,000
similar: $1,100,015–$10,001,163
$1,196,50020
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorJun 8, 2009D/A$2,000,000
similar: $1,100,015–$10,001,163
$1,046,00016
similar: 2–14
No minimum reported
similar: $5,000–$50,000
EDGAR ↗Sozo Global, Inc.Executive Officer, Director, Promoter
(Manager of LLC)
May 15, 2009D$2,250,000
similar: $650,000–$6,000,000
$400,0007
similar: 1–11
$50,000
similar: $9,999–$50,000
EDGAR ↗KLD ENERGY TECHNOLOGIES INCDirectorApr 16, 2009D$2,000,000
similar: $1,100,015–$10,001,163
$771,00010
similar: 2–14
No minimum reported
similar: $5,000–$50,000

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years (6 industry/exemption sets on this page); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other listings under the same name

Not linked to this profile — a second identifier (same issuer, same sponsor group) was not found. Could be the same person or a different one.

  • Mark Adams — address state CA, 7 issuers, Oct 1, 2012 → Jan 31, 2017
  • Mark Adams — address state CO, 1 issuer, Jun 1, 2009 → Jun 1, 2009
  • Mark B. Adams — address state GA, 1 issuer, May 15, 2012 → May 15, 2012
  • Mark Adams — address state WA, 1 issuer, Sep 27, 2012 → Sep 27, 2012
  • Mark Adams — address state X0, 1 issuer, Dec 30, 2013 → Dec 30, 2013
  • Mark W. Adams — address state MA,NY, 1 issuer, Sep 29, 2015 → Jul 16, 2020
  • Mark Adams — address state VA, 1 issuer, Jan 5, 2021 → Jan 5, 2021
  • Mark William Adams — address state TX, 1 issuer, Apr 14, 2015 → Apr 11, 2019

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 36 names on the same filings (0 management entities, 36 people)

People and management entities the issuers listed as related persons on the same Form D filings as Mark Adams. Source: the EDGAR rows in the table above.

  • Christian Gerard Okonsky — 16 shared filings (3 issuers) · roles as listed: Executive Officer, Director · also listed on 1 other issuer
  • John Constantine — 16 shared filings (4 issuers) · roles as listed: Director, Promoter, Executive Officer
  • Michael Winn — 14 shared filings (1 issuer) · role as listed: Director
  • Richard Hunter — 11 shared filings (1 issuer) · role as listed: Director · also listed on 1 other issuer
  • Curtis Smith — 5 shared filings (3 issuers) · role as listed: Executive Officer · also listed on 1 other issuer
  • Larry Cantrell — 3 shared filings (1 issuer) · roles as listed: Executive Officer, Director, Promoter
  • George Devlin — 3 shared filings (1 issuer) · role as listed: Director · also listed on 1 other issuer
  • Keller C. Rodney — 3 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • Richard Perley — 3 shared filings (1 issuer) · role as listed: Executive Officer
  • Brian Groh — 3 shared filings (1 issuer) · role as listed: Executive Officer
  • Joshua Silverman — 3 shared filings (1 issuer) · role as listed: Director · also listed on 10 other issuers
  • Greg Schiffman — 3 shared filings (1 issuer) · role as listed: Director
  • Sebastian Giordano — 3 shared filings (1 issuer) · role as listed: Director
  • Zvi Joseph — 3 shared filings (1 issuer) · role as listed: Director
  • Thomas Boone Pickens — 2 shared filings (1 issuer) · role as listed: Executive Officer · also listed on 8 other issuers
  • Rodney Carlyle Keller, Jr. — 2 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Daniel T Russler Jr — 2 shared filings (1 issuer) · role as listed: Director
  • Tom Wilkinson — 2 shared filings (1 issuer) · role as listed: Director · also listed on 1 other issuer
  • Rajesh Mellacheruvu — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Eric N Stober — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Ronald W Cantwell — 2 shared filings (1 issuer) · role as listed: Director
  • Tom Newby — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director
  • Mark Wabschall — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • DeWitt VanWisse — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Tim Hartt — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Richard Crumly — 1 shared filing (1 issuer) · role as listed: Director
  • Barry Wood — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Ryan Pape — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director
  • Gordon Feller — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director
  • Emil Joseph Schmidt IV — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Timothy Moseley — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Aline M. Betancourt — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Amy Lightner — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • John Vacalis — 1 shared filing (1 issuer) · role as listed: Executive Officer
  • Matthew Rogers — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director
  • Jeffrey Mims — 1 shared filing (1 issuer) · role as listed: Executive Officer

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

Export this report as PDF (members · included free during the launch period)

Change history

No corrections have been requested for this page.

Facts from public records only, each linked to its source. No ratings, no opinions. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Mark Adams appears on a new Form D, or when a court case or SEC action is matched to them. See plans →